What you'll learn

    Join us Tuesday, December 17th at 11:00am ET for a live webcast where we’ll explore the significant advantages of conducting a mock SEC exam. This essential preparation tool transforms uncertainty into certainty, ensuring that you are fully aware of what is happening within your firm and are well-prepared for an SEC exam.  

    We will discuss: 

    • Improved strategies for firm-wide preparation  
    • Real-world insights into the benefits of a mock exam from a regulator’s perspective  
    • Practical advice on achieving a state of preparedness that leaves little room for doubt  

    Who should attend?

    This webcast is essential for compliance officers, risk management professionals, legal advisors, senior executives, and any professional involved in regulatory compliance and preparedness. 

    Don’t miss this opportunity to ensure your firm is fully prepared for an SEC exam. Register now to secure your spot!  

    Register
    Our speakers
    • Dan Faigus, Senior Specialized Examiner – Private Funds, SEC
    • Carlo di Florio, President, ACA Group
    • Michele Foldenauer, Managing Director, ACA Group
    • Robert Baker, Managing Director, ACA Group
    • Josh Broaded, Partner, ACA Group
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    ACA leverages unrivaled expertise to develop innovative features, supported by hundreds of former regulators, compliance officers. Our experts provide comprehensive compliance and regulatory technology services globally, and our team delivers scalable, cost-effective solutions tailored to your needs, evolving with changing compliance requirements.

    Gain peace of mind as you launch, grow, and protect your business with ACA.

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    Our unique blend:

    Our regulatory compliance, managed services and technology gives you access to full service GRC solutions that can help you launch, grow, and protect your firm.